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TF

Terrence M. Finn

STERN BROTHERS & CO.
St. Louis, MO 63105
Some features on this profile are disabled
CRD#: 1102166
TF

Professional summary

Terrence Michael Finn, who also goes by Terry M Finn, is a registered financial professional currently at STERN BROTHERS & CO. located in St. Louis, Missouri.

Terrence is registered as a RR (Registered Representative) and started their career in finance in 1984. Terrence has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terry M Finn

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Terrence Michael Finn's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 17, 1990 - Present

STERN BROTHERS & CO.

Office #1: 8000 Maryland Avenue Suite 800, St. Louis, MO 63105
BD
CRD#: 16325
St. Louis, MO
Past

December 18, 1984 - September 26, 1990

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/3/2007)
RR
Connecticut
(10/14/2008)
RR
Florida
(1/3/2007)
RR
Georgia
(1/3/2007)
RR
Illinois
(1/3/2007)
RR
Kansas
(1/3/2007)
RR
Missouri
(10/19/1990)
RR
Montana
(6/6/2022)
RR
Nevada
(5/2/2022)
RR
New York
(1/3/2007)
RR
Utah
(4/21/2022)
RR
Wisconsin
(1/26/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/27/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/11/2006
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SB
STERN BROTHERS & CO.
BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Mailing Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Phone number
(314) 727-5519
Established
Missouri since 01/25/1985
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDEDTRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012TRUST
CLEMENTS, DONALD SIDNEYCHIEF TECHNOLOGY OFFICER4440518
ESSERT, GLENN EDWARDCHIEF COMPLIANCE OFFICER, AMLCO1447868
FINN, PEGGY PRINCECHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE730640
FINN, TERRENCE MICHAELPRESIDENT, DIRECTOR1102166
MIRIANI, JASON ANDREWCFO, TREASURER4547660
WARREN, KAREN KAYPRINCIPAL OPERATIONS OFFICER1316200

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STERN BROTHERS & CO.

CRD#: 16325St. Louis, MO 63105

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